employment practices

Company Proprietary and Confidential Information

DISCIPLINE PROCESS

EMPLOYMENT PRACTICES

March 2021

Company Proprietary and Confidential Information 2

MODULE CONTENT

This material is part of RNDC University. RNDC-U provides a

structured and blended learning experience for RNDC Associates.

Our learning programs are based on a progressive training concept

anchored to the RNDC Leadership Competency Models. This

learning curriculum is for new supervisors, managers, and middle-

management roles.

© 2021 Republic National Distributing Company

Version 2

All rights reserved. This material or any portion thereof may not be

reproduced or used in any manner whatsoever without the express

written permission of the copyright holder except for the use of brief

quotations in a business review.

www.rndc-usa.com

Employment Practices

Our Talent Philosophy

About HR 101

Discipline Process

http://www.rndc-usa.com/


RNDC TALENT PHILOSOPHY

Our Talent Philosophy drives the RNDC Associate Success Roadmap which provides guidance on how to successfully

manage your career and workplace experience. We encourage our Associates to perform at their personal best so they

can achieve an enriching and progressive career at RNDC.

We believe every Associate is a role

model of our Core Values and

Leadership Competencies which

define how we behave as the

beverage alcohol industry leader.

Successful job performance and

leadership potential provide clear

distinction for our financial

investment on an Associate’s career

development and total

compensation.

Associates are rewarded for taking

accountability to continually grow

and learn. Conversely, a leader’s

proven ability to build a bench of

strong talent drives our success as

the Distributor of Choice.

Our talent philosophy is transparent so

that our Associates strive for career

success. As a result, the differentiation

that RNDC provides is a rewarding and

engaging career experience for our

Associates.

We are providing you this specialized learning experience to ensure you perform

at “your personal best”. Understanding our human capital practices will

enable you to build a strong and sustainable bench of talented and engaged Associates.


ABOUT HR 101

Human Resource disciplines are an integral component of our business model and the Associate Success Roadmap.

Human Resource disciplines include Talent Management (recruitment, selection, onboarding, training, professional career

development, succession planning and talent reviews, performance management); Culture and Corporate Social

Responsibility; Inclusion and Diversity; Employment and Labor Law; Labor Relations; Communications; Total Rewards

(benefits, compensation, and recognition) and HR Technology & Business Intelligence. As a highly professional

organization, we all have an accountability to ensure these business disciplines are executed with excellence.

This learning curriculum is titled HR 101 which explains important human resources practices at Republic National

Distributing Company (RNDC). These people-related practices, also referred to as human capital practices, include

processes, policies, tools, and legal requirements on why and how we manage and lead our teams. Our Associates and

teams are our most valuable asset at RNDC. Every supervisor and manager has a professional accountability to understand

these practices and role model the required leadership behaviors and Company standards to ensure we provide the best

workplace experience and culture that engages and supports the overall well-being of our Associates.


UNDERSTANDING OUR EMPLOYMENT PRACTICES

DISCIPLINE PROCESS

5


Coaching and Counseling

Verbal Warning Written WarningPerformance Improvement

Plan

Suspension (pending

investigation or legal advice)

Termination

In the event of unacceptable job performance or behavior, the appropriate management will review the known facts and

circumstances of each case and take the corrective action they believe is appropriate and warranted in each situation.

Actions taken may include verbal or written documentation; final warning or Performance Improvement Plan; termination

from employment, or other actions RNDC decides are appropriate in its discretion.

6

AN OVERVIEW

Although both the Associate and RNDC have the right to terminate employment at will, with or

without cause or advance notice, RNDC may take disciplinary action at its discretion.*

Managers will discuss all disciplinary actions, including circumstances that may warrant immediate

termination, with your HR Leader prior to communicating with the affected Associate.

* RNDC reserves the right to determine the appropriate discipline in its business judgment and is

not obligating itself to specific discipline steps.


DISCIPLINE FORM

Steps to complete:

1. Fill in all details at the top of the form

2. Describe the issue, including date(s), time(s), witness(es), and business impact

3. Include the specific Policy from the Associate Handbook, Job Duties from the Associate’s Job Description, and/or behavior expectations from the Leadership Competency Model

4. Select the Next Course of Action from the drop-down

5. Describe follow-up expectations and any key deadlines below the Next Course of Action


• An Associate may be experiencing a serious life event that influences their performance.

The Employee Assistance Program provides access to a network of qualified specialists to

assist Associates in that situation. In many cases, RNDC will want to recommend that the

Associate speak with one of those specialists.

• Associates can contact the Employee Assistance Program on their own at any time. All

individual services provided are confidential and will not be shared with the Company.

• Speak to your HR Team to attain the most current EAP provider contact information or

check on myConnection.

8

UNDER- PERFORMANCE ISSUES MAY BE A RESULT OF A PERSONAL ISSUE OUTSIDE OF WORK

EMPLOYEE ASSISTANCE PROGRAM


DISCIPLINE PROCESS

DEFINING A PERFORMANCE ISSUE

9


DEFINING A PERFORMANCE ISSUE

• …requires observation of, and regular interaction with, your Associate

• …should start with basic questions: who, what, how much, where, when, and why

• …may take time to gather enough occurrences to see a pattern

Defining a performance issue…

• …means grouping together examples of unacceptable behavior or performance based on what the examples have in common

• …leads to a better definition of the issue

• …can lead to a clear statement of the business impact

Pattern recognition…

• …explains why the poor performance or pattern needs to stop

• …answers the question: “so what?”

• …should be included in the description of the policy violation or pattern of unacceptable performance

Business Impact…

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DISCIPLINE SHOULD BE TIMELY, SPECIFIC, AND DESCRIBE THE UNACCEPT ABLE BEHAVIOR OR

PERFORMANCE.


Purpose: Provides the Associate with data through a structured, meaningful conversation using a balance of seeking and telling. Coaching and counseling ensures the Associate receives feedback and support to improve their behavior or performance.

Proactive Coaching is positive and includes seeking the Associate’s ideas before you share your insights as their Manager. Counseling, or Reactive Coaching, focuses on a past situation.

Documentation: Use of the Progressive Discipline Form is optional. An email to the associate may be an effective alternative.

Consider scheduling ongoing career conversations, if not already doing so.

Attend RNDC’s Coaching for Peak Performance for additional training, available in

RNDC-U.

11

COACHING AND COUNSELING


Purpose: Verbal Warnings create a sense of urgency regarding a behavior or performance issue. If no improvement has been made after one or more Coaching and Counseling sessions, a Verbal Warning may be the next step.

Be sure to apply good Coaching and Counseling techniques when discussing the continued concern with the Associate, and before making the decision to deliver the Verbal Warning.

Documentation: Use RNDC’s Progressive Discipline Form to document Verbal Warnings. Include date(s), time(s), witness(es), business impact, as well as the specific Policy, Job Duties, and/or behavior expectations that are not being met.

The Associate’s signature is not required, but encouraged. The original document with the Manager’s signature should be given to HR. The Manager should keep a copy for their records.

12

VERBAL WARNING


WRITTEN WARNING

File the original signed document with HR. The Manager and Associate should keep a copy for their records.

Ask the Associate to sign as acknowledgement of receipt of Written Warning.

Include date(s), time(s), witness(es), business impact, as well as the Policy, Job Duties, and/or behavior expectations that are not being met.

Documentation: use RNDC’s Progressive Discipline Form to document Written Warnings.

Be sure to apply good Coaching and Counseling techniques when discussing the continued concern with the Associate, and before making the decision to deliver the

Written Warning.

Purpose: Written warnings typically come after a documented verbal warning, providing heightened awareness of the severity of the issue and business impact.


SUSPENSION

If the suspended Associate(s) is/are returned to work, RNDC will typically pay for time off while on suspension.

HR will partner with management to conduct the investigation and will make a recommendation regarding next steps.

Your HR Leader must be advised and included in all situations requiring a Suspension. HR Leaders should refer to the Concern Resolution Toolkit and Suspension Notice available on the HR Sharepoint page for additional support.

A Suspension is not by itself a disciplinary step; however, the Progressive Discipline Form should be used to communicate the Suspension to affected Associate(s). Or, HR will provide a custom Memo for the situation.

Suspensions are used during an internal investigation to ensure the safety of involved Associates as well as the integrity and confidentiality of the investigation.


File the original signed document with HR. The Manager should keep a copy for their records. HR will confirm with the manager that all additional documentation delivered before the termination is also in HR’s personnel file.

Replace with: As a result, your employment is terminated effectively immediately.

Delete this text: Next Course of Action: I read this disciplinary action and understand it. I understand that failure to correct this issue or to follow the Company’s policy may result in further disciplinary action, up to and including immediate termination of my employment.

Documentation: use RNDC’s Progressive Discipline Form to document the Termination. Include date(s), time(s), witness(es), business impact, as well as the specific Policy, Job Duties, and/or behavior expectations that are not being met.

Be sure to apply good Coaching and Counseling techniques when discussing the continued concern with the Associate, and before making the decision to terminate.

All Terminations must be reviewed and approved by the HR Leader before communicating with the Associate.

Purpose: Termination ideally would occur only after repeated Coaching and Counseling sessions, use of Progressive Discipline forms, and possibly one or more Performance Reviews.

15

TERMINATION


• Certain types of problems are serious enough to justify termination of employment, without going

through any progressive disciplinary steps.

• For example, disciplinary action relating to misconduct may result in immediate termination of

employment or fewer disciplinary steps.

• While it is impossible to list every type of behavior that may be deemed a serious offense, the Associate

Conduct and Work Rules policy includes additional examples of conduct that may result in immediate

termination of employment.

• Discuss all disciplinary actions, including immediate termination, with your HR Leader prior to

communicating with the affected Associate.

16

RNDC RESERVES THE RIGHT TO DETERMINE WHEN TO BYPASS ONE OR MORE

PROGRESSIVE DISCIPLINE STEPS.

ASSOCIATE CONDUCT AND WORK RULES


1. Absenteeism, tardiness, or unreliability

2. Breach of confidence or security

3. Failure to report observed or suspected theft, or misappropriation or misuse of property

4. Fighting or threatening words or actions

5. Violent behavior

6. Fraud, dishonesty, misrepresentation, or false statements (including, among other things, falsification of employment applications, time records, invoices, absence or leave-related communications, etc.)

7. Harassment, discrimination, or

retaliation in violation of the No Harassment policy

8. Insubordination, including the failure or refusal to promptly carry out instructions of any supervisor or management

9. Misappropriation or unauthorized possession of RNDC property or property belonging to another Associate, customer, or vendor

10. Misuse, neglect or damage to RNDC property, or the property of another Associate, customer or vendor

11. Possession of weapons, dangerous or unauthorized materials, or contraband, including among other things,

explosives or firearms, in the workplace or while working

12. Sleeping or inattention

13. Solicitation or distribution in violation of RNDC policies

14. Substance abuse or violation of the Drug and Alcohol policy

15. Theft or inappropriate removal or possession of property

16. Unauthorized possession, use, or disclosure of trade secrets or proprietary information belonging to RNDC, or business partners

17. Unauthorized use or attempted

access to another’s computer, RNDC’s technology systems, including e-mail, telephones, etc.

18. Unlawful or unethical activity, while on or off duty

19. Unsafe work practices, violations of safety rules, failure to report work-related accidents or near-misses

20. Unsatisfactory behavior or job performance

17

EXAMPLES OF MISCONDUCT THAT MAY RESULT IN DISCIPLINARY ACTION, UP TO AND

INCLUDING IMMEDIATE TERMINATION OF EMPLOYMENT:

ASSOCIATE CONDUCT: WORK RULES

RNDC expects Associates to follow rules of conduct that will protect the interests and safety of all associates, the organization and the public.

Nothing contained in this policy is meant to restrict any rights under Section 7 of the National Labor Relations Act.


• Attendance, tardiness, unreliability

• Dress code violations• Minor traffic violations

(littering, failure to use turn signals)

18

• Abusive or offensive language• Property damage• Violation of safety policies• Safety-related traffic violations (run

red light, no seat belt, speeding)• Failure to follow documented

policies and procedures

HOW DO YOU DECIDE THE LEVEL OF SEVERITY OF AN ISSUE?

• Hit and Run accident• Inappropriate use of drugs or

alcohol• Theft• Falsification of documents• Harassment (physical,

verbal, sexual)

SEVERITY AFFECTS DISCIPLINARY ACTION

Minor – common issues that can be

successfully addressed through coaching

and counseling.

Medium – first time occurrence of

events in this range could result in a

Verbal or Written Warning.

Serious – first time occurrence of

egregious conduct; conduct that is

deplorable, flagrant, or outrageous.

Investigation and HR partnership needed

before taking disciplinary action.

Termination may be the most appropriate

action.


REVIEW THESE EXAMPLES WITH YOUR MANAGER AND/OR HR LEADER TO BE SURE YOU AGREE

EXAMPLES FOR DISCUSSION

Property Damage

Customer complains driver created damage to

property. Investigation shows damage was slight

and insignificant. Driver reported incident timely.

Investigation also indicates damage due to new

concrete bollards installed by customer making

entry and exit difficult for vehicle.

Safety Policies

Associate utilizing equipment without appropriatesafety equipment (harness and seat belt).Investigation identifies safety equipment isinoperable. Associate made Manager awareprior to shift.

Harassment

Complaint by Associate regarding inappropriatejokes being shared in break room. Investigationshows many witnesses, jokes were inappropriateand included physical reenactments that wereoffensive. Associate admits to making jokes butdenies touching anyone in the reenactments.Witness testimony support the physical touching.

Equipment Damage

Equipment damage reported to Manager bymechanic. Investigation shows pre-shift inspectionnot complete. Previous day inspections reportcompleted. Associate using equipment identified.Associate admits to damage but did not report itto management timely.

WHAT ACTION SHOULD BE TAKEN?

VERBAL WARNING

WRITTEN WARNING

TERMINATION

Some conduct issues may need investigation to

identify appropriate level

of disciplinary action.

Investigation may indicate

lesser or higher level of severity

and suggest different action

needs to be taken.


EXAMPLE ANSWERS

Property Damage

Customer complains driver created damage to property.

Investigation shows damage was slight and insignificant. Driver

reported incident timely. Investigation also indicates damage due

to new concrete bollards installed by customer making entry and

exit difficult for vehicle.

Safety Policies

Associate utilizing equipment without appropriate safetyequipment (harness and seat belt). Investigation identifies safetyequipment is inoperable. Associate made Manager aware priorto shift.

Harassment

Complaint by Associate regarding inappropriate jokes beingshared in break room. Investigation shows many witnesses, jokeswere inappropriate and included physical reenactments that wereoffensive. Associate admits to making jokes but denies touchinganyone in the reenactments. Witness testimony support thephysical touching.

Equipment Damage

Equipment damage reported to Manager by mechanic.Investigation shows pre-shift inspection not complete. Previous dayinspections report completed. Associate using equipmentidentified. Associate admits to damage but did not report it tomanagement timely.

WHAT ACTION SHOULD BE TAKEN?

VERBAL WARNING

WRITTEN WARNING

TERMINATION

VERBAL

WARNING

VERBAL

WARNING

TERMINATION WRITTEN WARNING


KEY LEARNINGS FOR YOU

As a New Manager

Underperformance is the primary reason to consider a Performance Improvement Plan

(PIP).

The RNDC Discipline Process is typically used to correct unacceptable behavior.

When engaging in employment practices, align with your Manager and HR on the

best solution.

As a HR Professional

Performance management using the PIP process requires HR review and approval.

HR plays an important role in coaching Managers on how and when to consider

using the Discipline Process.

You are a RNDC Leader of employment practices. Ensure your management teams

understand how you can support them.


YOUR ROLE AS A RNDC LEADER

The foundation of our success is grounded in the core values of family, service, accountability, honesty, and professionalism.

We are an industry leader known for exceptional professional development and career advancement that delivers excellence

in long-term sustainable business results and job satisfaction. We offer a vibrant culture for professionals who desire a work

experience that makes them feel accomplished, challenged and engaged. Simply stated, relationships and belonging matter

at RNDC. Our Associates genuinely care about the people and communities they serve. Every day, our Associates are inspired

to challenge themselves and achieve the fulfillment that comes from making valuable contributions to a successful and

thriving organization.

Every RNDC Leader has accountability to understand our human capital practices and role model the required leadership

behaviors and Company standards to ensure we provide the best workplace experience and culture that engages and grows

our Associates. We appreciate your leadership and commitment to our standards of excellence and vision at RNDC.

Our vision is to be the national distributor of choice of beverage alcohol producers who value the three tier system,

building branded products and profitability for all parties involved, and serving the needs of our associates, suppliers,

customers and community.

employment practices

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